Building a Better Future for Consumers, Advisers and Providers
Audience: All Advisers
Your 90-Minute Health Check
Angi Mann & Andrew Gunn
Get all the vitamins your business needs for a clean bill of Compliance health. Join us for this ‘answer-all’ session designed for all types of advisers.
You won’t have attended a Compliance session quite like this…ever! Come ready for a quick-fire answer-all 90-minute Compliance health-check – designed to answer all of your commonly asked questions, and with specialist ‘locum’ appearances on a wide range of topics such as legislative obligations, advice processes; CPD pathways; disputes resolution and more.
We’ll be ousting confusion with our fast paced Q&A on the common compliance questions. We’ll demystify the practical application of financial and general legislation, and highlight the common areas of Compliance failure to watch out for. We’ll outline how to use Compliance as a tool to support informed choice and to add value to your advice process. And of course, we’ll clarify changes in CPD requirements and the qualification pathways available for different types of advisers.
Have questions? We’ve got the answers. Don’t miss this opportunity to give your Compliance knowledge and processes a comprehensive health check.
About Angi Mann: Angi has been in the financial services industry for over 20 years, in various roles with lenders and insurance companies. Angi’s key responsibility is to ensure members are able to attain their CPD goal, by sourcing and offering learning and development opportunities across a range of topics and mediums. Angi is also an NZ unit standards assessor, a National Certificate of Financial Services trainer, and works with IDS helping advisers understand and apply their legislative and best practice obligations.
About Andrew Gunn: Andrew is the Learning & Development Manager at Institute of Financial Advisers (IFA). Andrew’s key responsibility is to assist members with achieving their continuing professional learning goals and facilitate member’s journey to the designations of CFPCM and CLUCM. One primary goal is to ensure appropriate learning is offered and source subject-matter experts to deliver effective CPD.
Andrew holds a number of governance roles in the vocational educational sector and is a director of Skills Active Aotearoa (ITO for Recreation, Fitness, Snow sports and Sports) and Professional IQ College of Auckland. He was previously a director of the Industry Training Federation. Andrew has run his own business and holds an MBA from Canterbury University.
Derek Grantham brings the AFA perspective into the work and thinking of the Financial Markets Authority, having become an AFA in late 2010 and with the FMA since 2012. Derek brings his experience as a financial adviser and as head of adviser services for a national advisory firm to his role as Principal Consultant, Monitoring within the FMA’s regulation team. He also drew upon that experience, and perspective, when leading the FMA’s contribution to MBIE’s FA Review.
David is a partner in the financial services team at Kensington Swan, with extensive experience in the regulation of investment offerings and the provision of financial advice. He is an inaugural member of the Code Committee established under the Financial Advisers Act, and has chaired that Committee since 2012.
Barry started in the financial services industry in 1987 and worked for some of New Zealand’s leading Insurance and Investment companies. He has also performed various roles for the Institute of Financial Advisers, Professional Advisers Association, NZ Financial Advisers Association, The Skills Organisation (formerly ETITO), and Financial Services Council (formerly ISI). IDS was launched 2011 to help independent advice businesses cope with the new regulations.
Barry is passionate about good financial advice and specialises in helping advice businesses around the country manage their compliance, develop their advice processes and grow their businesses.
Trevor Slater is a highly qualified and experienced commercial mediator and negotiator. He holds a Masters Degree in Conflict Resolution from La Trobe University and has qualifications in accounting, financial compliance and management. Currently, Trevor is the general manager of IDS Limited, a PAA Board Member, Chair of the Working Group for Financial Advice New Zealand and is a Senior Associate of the Australian and New Zealand Institute of Insurance and Finance.
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